Distribution Statement and Export Control Warning/Destruction Notice
on Contract Data Requirements List DD Form 1423

Acquisition Process Bulletin #1-08
Revision 2, 31 May 2013

References: (a) DoD 5010.12-M “Procedures for the Acquisition and Management of Technical Data”
(b) DoD Instruction 5230.24 “Distribution Statements on Technical Documents”
(c) DoD Directive 5230.25 “Withholding of Unclassified Technical Data from Public Disclosure”
(d) DoD Manual 5200.01 “DoD Information Security Program”
(e) DoD 5220.22-M, “National Industrial Security Program Operating Manual”
(f) DoD Directive 5230.09 “Clearance of DoD Information for Public Release”
Enclosures: (1) Distribution Statement Verbiage for use on CDRL
(2) Reasons for Restriction Chart
(3) Export Control Warning & Destruction Notice Verbiage for use on CDRL

1. PURPOSE To identify the proper use of Distribution Statements, Export Control Warnings and Destruction Notices in the preparation of Contract Data Requirements List (CDRL).

2. BACKGROUND. Over the years, the Department of Defense has established programs designed to protect and preserve our technology. The programs were designed to balance the principles of openness in Government and the Government’s legitimate need to regulate the disclosure of certain information in the interest of national security. With the advent of the Freedom of Information Act, the problem of protecting this information from public release and export to potential adversaries was presented to Congress for resolution. In September 1983, Congress included in Public Law 98-94, the Defense Authorization Act of 1984, authority for the Secretary of Defense to withhold from public disclosure certain technical data with military or space application.

The resulting provisions of the Defense Authorization Act of 1984 were implemented in DoD Directive 5230.25 (reference (c)) and DoD Instruction 5230.24 (reference (b)).

3. APPICABILITY AND SCOPE. Managers of technical programs procuring contractor prepared documents via a CDRL that contain technical data are responsible for determining the distribution statement to be marked on the technical data deliverable. Without Distribution Statement markings, technical documents are in violation of the DoD Directives, and the appropriate control of secondary distribution cannot be expected.

In addition, Managers of technical programs procuring contractor prepared documents via a CDRL that contain technical data are also responsible to determine whether the data deliverable contains export-controlled technical data. DoD Directive 5230.25 (reference (c)) provides guidance for making this determination.

4. PROCESS.

  1. Distribution Statements. On the CDRL, the Controlling DoD office/Requiring Office (the originator/author of the CDRL) is required to insert the appropriate Distribution Statement Code letter in Block 9 and the Reason and Date of Determination in Block 16 (Remarks) on the CDRL. Enclosure 1 provides examples of the Distribution Statement verbiage to be used in Blk 16 (Remarks) on the CDRL (advising contractor the statement to include on the data deliverable) and Enclosure 2 provides the “Reason”. (Statement listed in BOLD is all that is required as a reason on the CDRL; additional verbiage is for clarification purposes only.)
  2. Export Control Warning and Destruction Notice. All documents that are found to contain export-controlled technical data shall be marked with an Export Control Warning and a Destruction Notice. Enclosure 3 contains the Export Control Warning and Destructive Notice verbiage to be used in Blk 16 (Remarks) on the CDRL.

5. DEFINITIONS.

Controlling DoD Office - The DoD activity that sponsored the work that generated the technical data or received the technical data on behalf of the Department of Defense and, therefore, has the responsibility for determining the distribution of a document containing such technical data. (IAW Ref. DoD 5010.12-M)

Critical Technology - Technical data, whose acquisition by a potential adversary would prove detrimental to the national security of the United States.

Distribution Statement - A statement used in marking technical data to denote the extent of its availability for secondary distribution, release, and disclosure without need for additional approvals or authorizations from the controlling DoD office. (IAW Ref. 5010.12-M)

Export-controlled information - Includes technical data, which is required for the design, development, production, manufacture, assembly, operation, repair, testing, maintenance or modification of defense articles and software directly related to defense articles (22 C.F.R. Sec. 120.10). It also includes specific information necessary for the development, production, or use of items on the Commerce Control List (15 C.F.R. Sec. 772.1, defining technology), commonly referred to as dual-use items, which can serve defense and commercial purposes.

Secondary Distribution - Release of technical documents provided after primary distribution by anyone other than the originator or controlling office. It includes loaning, allowing the reading of, or releasing a document outright, in whole or in part. (IAW Ref DoDI 5230.24)

Technical Data - Recorded information related to experimental, developmental, or engineering works that can be used to define an engineering or manufacturing process or to design, procure, produce, support, maintain, operate, repair, or overhaul material. The data may be graphic or pictorial delineations in media, such as drawings or photographs, text in specifications or related performance or design type documents, or computer printouts. Examples of technical data include research and engineering data, engineering drawings, and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog-item identifications, and related information and computer software documentation. (IAW Ref DoDI 5230.24)

ENCLOSURE 1 - DISTRIBUTION STATEMENT VERBIAGE FOR USE ON CDRL

The authorized Distribution Statements set forth in DoD Instruction 5230.24 provide options ranging from unlimited distribution to no secondary distribution without specific authority of the Controlling DoD Office.

DISTRIBUTION A. Approved for public release; distribution is unlimited. (*Note – Documents recommended for Public Release must first be reviewed in accordance with DoD Directive 5230.09)

DISTRIBUTION B. Distribution authorized to U.S. Government Agencies only (fill in reason) (date of determination). Other requests for this document shall be referred to Commanding Officer, Naval Air Warfare Center, Training Systems Division, (Insert controlling DoD office), 12350 Research Parkway, Orlando, FL 32826-3275.

DISTRIBUTION C. Distribution authorized to U.S. Government Agencies and their contractors (fill in reason) (date of determination). Other requests for this document shall be referred to Commanding Officer, Naval Air Warfare Center, Training Systems Division, (Insert controlling DoD office), 12350 Research Parkway, Orlando, FL 32826-3275.

DISTRIBUTION D. Distribution authorized to DoD and U.S. DoD contractors only (fill in reason) (date of determination). Other requests for this document shall be referred to Commanding Officer, Naval Air Warfare Center, Training Systems Division, (Insert controlling DoD office), 12350 Research Parkway, Orlando, FL 32826-3275.

DISTRIBUTION E. Distribution authorized to DoD Components only (fill in reason) (date of determination). Other requests for this document shall be referred to Commanding Officer, Naval Air Warfare Center, Training Systems Division, (Insert controlling DoD office), 12350 Research Parkway, Orlando, FL 32826-3275.

DISTRIBUTION F. Further dissemination only as directed by Commanding Officer, Naval Air Warfare Center, Training Systems Division, TMSS, 12350 Research Parkway, Orlando, FL 32826-3275., (date of determination) or higher DoD authority.

DISTRIBUTION X. Distribution Statement “X” is superseded by issuance of DoDI 5230.24. Subsequent dissemination of formerly Distribution Statement X documents shall display Distribution Statement C, with export control as the reason and shall be marked as directed in DoDI 5230.24 Enclosure 3 paragraph 8.a, unless changed by the controlling DoD office.

ENCLOSURE 2 - REASON FOR RESTRICTION CHART (IAW Ref (b))

REASON FOR RESTRICTION MAY BE USED ON DISTRIBUTION STATEMENT:
ADMINISTRATIVE OR OPERATIONAL USE. To protect technical or operational data or information from the automatic dissemination under the International Exchange Program or by other means. This protection covers publications required solely for official use or strictly for administrative operational purposes. This statement may be applied to manuals, pamphlets, technical orders, technical reports, and other publications containing valuable technical or operational data. B C D E
CONTRACTOR PERFORMANCE EVALUATION. To protect information in management reviews, records of contractor performance evaluation, or other advisory documents evaluating programs of contractors. B     E
CRITICAL TECHNOLOGY. To protect information and technical data that advance current technology or describe new technology in an area of significant or potentially significant military application or that relate to a specific military deficiency of a potential adversary. Information of this type may be classified or unclassified. When unclassified, technology is export-controlled and subject to the provisions of DoD Directive 5230.25. B C D E
DIRECT MILITARY SUPPORT. The document contains export-controlled technical data of such military significance that release for purposes other than direct support of DoD-approved activities may jeopardize an important technological or operational military advantage of the United States. Designation of such data is made by competent authority in accordance with DoDD 5230.25.       E
EXPORT CONTROLLED. To protect information subject to the provisions of DoD Directive 5230.25.BC DE
FOREIGN GOVERNMENT INFORMATION. To protect and limit distribution in accordance with the desires of the foreign government that furnished the technical information. B C D E
OPERATIONS SECURITY. To protect information and technical data that may be observed by adversary intelligence systems and determining what indicators hostile intelligence systems may obtain that could be interpreted or pieced together to derive critical information in time to be useful to adversaries.B  E
PREMATURE DISSEMINATION. To protect patentable information on systems or processes in the developmental or concept stage from premature dissemination. B     E
PROPRIETARY INFORMATION. To protect information not owned by the U.S. Government and protected by a contractor’s “limited rights” statement, or received with the understanding that it not be routinely transmitted outside the U.S. Government. B     E
TEST AND EVALUATION. To protect results of test and evaluation of commercial products or military hardware when such disclosure may cause unfair advantage or disadvantage to the manufacturer of the product. B     E
SOFTWARE DOCUMENTATION. To protect technical data relating to computer software that is releasable only in accordance with the software license in DFARS subpart 227.72. It includes documentation such as user’s or owner’s manuals, installation instructions, operating instructions, and other information that explains the capabilities of or provides instructions for using or maintaining computer software. B C D E
SPECIFIC AUTHORITY. To protect information not specifically included in the above reasons and discussions, but which requires protection in accordance with valid documented authority such as Executive Orders, classification guidelines, DoD or DoD Component regulatory documents. When filling in the reason, cite “Specific Authority (identification of valid documented authority).” B C D E
VULNERABILITY INFORMATION. To protect information and technical data that provides insight into vulnerabilities of U.S. critical infrastructure, including DoD warfighting infrastructure, vital to National Security that are otherwise not publicly available.BC DE

ENCLOSURE 3 - EXPORT CONTROL WARNING AND DESTRUCTION NOTICE

In addition to the Distribution Statement verbiage in Blk 16 of the CDRL, the following Export Control Warning and Destruction Notice verbiage must also be listed in Blk 16 of the CDRL if the data deliverable being procured via the CDRL contains technical data that is export controlled. When it is technically infeasible to use the entire statement, an abbreviated marking may be used and a copy of the full statement added to the “Notice to Accompany the Dissemination of Export-Controlled Data” required by DoD Directive 5230.25.

WARNING - This document contains technical data whose export is restricted by the Arms Export Control Act (Title 22, U.S.C., Sec 2751, et seq.) or the Export Administration Act of 1979, as amended, Title 50, U.S.C., App. 2401 et seq. Violations of these export laws are subject to severe criminal penalties. Disseminate in accordance with provisions of DoD Directive 5230.25.

DESTRUCTION NOTICE – For classified documents, follow the procedures in DoD 5220.22-M, Industrial Security Manual, Section 11 -19 or DoD 5200.01, DoD Information Security Program. For unclassified, limited documents, destroy by any method that will prevent disclosure of contents or reconstruction of the document.

NAWCTSD NAVAL AIR WARFARE CENTER
TRAINING SYSTEM DIVISION
ORLANDO FLORIDA


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